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Civil Aviation BillPage 20

(a) publish the order as soon as practicable after the determination is
made, and

(b) send a copy of the order to the persons listed in subsection (4).

(4) Those persons are—

(a) 5the holder of the licence which is the subject of the appeal,

(b) if the appeal was brought by someone other than the holder of that
licence, the appellant,

(c) any other person with a qualifying interest in the decision that is the
subject of the appeal (see paragraph 34(4) of Schedule 2),

(d) 10such bodies representing airport operators or providers of air transport
services as the Competition Commission considers appropriate, and

(e) the CAA.

(5) The Competition Commission may exclude from publication under subsection
(3) any information which it is satisfied is—

(a) 15commercial information, the disclosure of which would, or might in the
Commission’s opinion, significantly harm the legitimate business
interests of an undertaking to which it relates, or

(b) information relating to the private affairs of an individual, the
disclosure of which would, or might in the Commission’s opinion,
20significantly harm the individual’s interests.

(6) The CAA must take such steps as it considers requisite for it to comply with the
order.

(7) The steps must be taken—

(a) if a time is specified in the order or is to be determined in accordance
25with the order, within that time, and

(b) otherwise, within a reasonable time.

30 Procedure on appeals

(1) Schedule 2 (appeals under sections 24 and 25) has effect.

(2) Subsections (1), (2) and (5) of section 1 apply to the carrying out by the
30Competition Commission of the functions listed in subsection (4) as they apply
to the carrying out by the CAA of its functions under this Chapter.

(3) In carrying out the functions listed in subsection (4) the Competition
Commission must have regard to the matters mentioned in section 1(3) and (4).

(4) Those functions are—

(a) 35deciding an application for permission to appeal under section 24 or 25,

(b) deciding an application under Schedule 2 for permission to intervene
in an appeal and

(c) determining an appeal under section 24 or 25, including taking
decisions and giving directions described in section 27.

(5) 40The functions of the Competition Commission under this Chapter are not to be
regarded as comprised in its general functions for the purposes of Part 2 of
Schedule 7 to the Competition Act 1998 (manner in which general functions are
to be carried out).

Civil Aviation BillPage 21

Enforcement of licence conditions

31 Contravention notice

(1) The CAA may give a notice under this section (a “contravention notice”) to a
person if it has reasonable grounds for believing that the person is
5contravening, or has contravened, a licence condition.

(2) A contravention notice must—

(a) specify the condition and contravention in respect of which it is given,

(b) explain the action that the CAA may take under this Chapter in
connection with the contravention, and

(c) 10explain that representations may be made about the matters in the
notice before the end of the period specified in the notice.

(3) The CAA must specify a period of not less than 30 days beginning with the day
on which the contravention notice is given, subject to subsection (4).

(4) The CAA may specify a shorter period in a contravention notice given in
15respect of a repeated contravention.

(5) A contravention notice is given to a person in respect of a repeated
contravention if, in the period of 2 years ending with the day on which the
notice is given, the CAA did one or more of the following in respect of a
contravention by the person of the same condition—

(a) 20gave the person a contravention notice;

(b) gave the person an enforcement order;

(c) gave the person an urgent enforcement order;

(d) imposed a penalty on the person under section 39 or 40.

(6) The CAA may extend the period specified in a contravention notice given to a
25person on one or more occasions by giving a notice to that person.

(7) The CAA may withdraw a contravention notice given to a person at any time
by giving a notice to the person that includes its reasons for doing so.

(8) As soon as practicable after giving a notice under subsection (1), (6) or (7), the
CAA must—

(a) 30publish the notice, and

(b) send a copy of the notice to such bodies representing airport operators
or providers of air transport services as the CAA considers appropriate.

(9) A contravention notice given in respect of a contravention that is or was a
continuing contravention must specify the period of contravention in respect
35of which it is given.

(10) In this Part “representation period”, in connection with a contravention notice,
means—

(a) the period specified in the contravention notice for making
representations, or

(b) 40where the period has been extended in accordance with subsection (6),
the extended period.

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32 Restrictions on giving contravention notices

(1) If the CAA gives a person a contravention notice or an urgent enforcement
order (see section 35) in respect of a contravention, it may not subsequently
give the person a contravention notice in respect of the same contravention.

(2) 5Subsection (1) does not apply if—

(a) the CAA withdraws the first contravention notice without imposing a
penalty on the person under section 39, or

(b) the CAA revokes the urgent enforcement order without imposing a
penalty on the person under section 40.

(3) 10Subsection (1) does not prevent the CAA giving a person more than one
contravention notice, or a contravention notice and an urgent enforcement
order, in respect of—

(a) contraventions of the same condition in different ways, or

(b) contraventions of the same condition at different times or during
15different periods.

33 Enforcement order

(1) The CAA may give an order under this section (an “enforcement order”) to a
person if—

(a) it has given the person a contravention notice (and has not withdrawn
20it),

(b) the representation period has ended,

(c) it has considered any representations made about the matters in the
contravention notice before the end of that period (and not withdrawn),
and

(d) 25subsection (2) or (3) is satisfied.

(2) This subsection is satisfied if the CAA has determined that the person is
contravening a condition specified in the contravention notice in one or more
of the ways specified in the notice.

(3) This subsection is satisfied if the CAA has determined that the person—

(a) 30has contravened a condition specified in the contravention notice in
one or more of the ways specified in the notice, and

(b) did not, before the end of the representation period, take all of the
appropriate steps mentioned in subsection (6)(b).

(4) An enforcement order must—

(a) 35specify the condition and contravention in respect of which it is given,

(b) require the person to take such of the appropriate steps as are specified
in the order,

(c) specify a reasonable period within which the steps must be taken, and

(d) give the CAA’s reasons for giving the order.

(5) 40As soon as practicable after giving an enforcement order, the CAA must—

(a) publish the order, and

(b) send a copy of the order to such bodies representing airport operators
or providers of air transport services as the CAA considers appropriate.

(6) In this section “the appropriate steps”, in relation to a contravention of a
45condition, means the steps that the CAA has determined are appropriate—

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(a) for complying with the condition, and

(b) for remedying the consequences of the contravention.

34 Enforcement order: modification and revocation

(1) The CAA may—

(a) 5modify an enforcement order with the agreement of the person to
whom it was given, or

(b) revoke an enforcement order.

(2) Before modifying or revoking the order, the CAA must—

(a) publish a notice in relation to the proposed modification or revocation,

(b) 10send a copy of the notice to the person to whom the order was given,
and

(c) consider any representations made about the proposal in the period
specified in the notice (and not withdrawn).

(3) The notice under subsection (2) must—

(a) 15state that the CAA proposes to modify or revoke the order,

(b) specify the proposed modification (if relevant),

(c) give the CAA’s reasons for the modification or revocation, and

(d) specify a reasonable period for making representations.

(4) As soon as practicable after modifying or revoking an enforcement order, the
20CAA must—

(a) publish a notice giving details of the modification or revocation, and

(b) send a copy of the notice to the persons listed in subsection (5).

(5) Those persons are—

(a) the person to whom the enforcement order was given, and

(b) 25such bodies representing airport operators or providers of air transport
services as the CAA considers appropriate.

35 Urgent enforcement order

(1) The CAA may give an order under this section (an “urgent enforcement
order”) to a person if subsection (2) or (3) is satisfied.

(2) 30This subsection is satisfied if the CAA has reasonable grounds for believing
that—

(a) the person is contravening, or has contravened, a licence condition,

(b) the contravention has resulted in, or creates an immediate risk of, a
serious economic or operational problem for users of air transport
35services, for a class of user of such services or for a relevant service
provider, and

(c) it is appropriate to give the urgent enforcement order to prevent,
remove or reduce that problem or risk.

(3) This subsection is satisfied if the CAA has reasonable grounds for believing
40that—

(a) the person is likely to contravene a licence condition,

(b) the contravention is likely to result in, or create an immediate risk of, a
problem described in subsection (2)(b), and

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(c) it is appropriate to give the urgent enforcement order to prevent, or
reduce the likelihood of, that problem or risk arising.

(4) An urgent enforcement order must—

(a) specify the condition and contravention in respect of which it is given,

(b) 5require the person to take such of the appropriate steps as are specified
in the order,

(c) specify a reasonable period within which the steps must be taken, and

(d) give the CAA’s reasons for giving the order.

(5) As soon as practicable after giving an urgent enforcement order, the CAA
10must—

(a) publish the order, and

(b) send a copy of the order to such bodies representing airport operators
or providers of air transport services as the CAA considers appropriate.

(6) In this section “the appropriate steps” means—

(a) 15in relation to a contravention of a condition that has occurred or is
occurring, the steps that the CAA has determined are appropriate—

(i) for complying with the condition, and

(ii) for remedying the consequences of the contravention, and

(b) in relation to a contravention of a condition that is likely to occur, the
20steps that the CAA has determined are appropriate for securing that the
contravention does not occur.

(7) In this section “relevant service provider” means a person, other than the
person to whom the urgent enforcement order is to be given, who provides
services at the airport at which, or in connection with which, the contravention
25occurred, is occurring or is likely to occur.

36 Urgent enforcement order: confirmation

(1) As soon as practicable after giving an urgent enforcement order, the CAA
must—

(a) confirm the order, or

(b) 30revoke the order (see section 37).

(2) The CAA may confirm an urgent enforcement order with or without
modifications.

(3) The CAA may confirm an urgent enforcement order given in reliance on
section 35(2) only if it has determined that—

(a) 35the person is contravening, or has contravened, a licence condition
specified in the order in one or more of the ways specified in the order,

(b) the contravention has resulted in, or creates an immediate risk of, a
problem described in section 35(2)(b), and

(c) it is appropriate to confirm the urgent enforcement order, with any
40modifications, to prevent, remove or reduce that problem or risk.

(4) The CAA may confirm an urgent enforcement order given in reliance on
section 35(3) only if it has determined—

(a) that paragraphs (a) to (c) of subsection (3) are satisfied, or

(b) that—

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(i) the person is likely to contravene a licence condition specified
in the order in one or more of the ways specified in the order,

(ii) the contravention is likely to result in, or create an immediate
risk of, a problem described in section 35(2)(b), and

(iii) 5it is appropriate to confirm the urgent enforcement order, with
any modifications, in order to prevent, or reduce the likelihood
of, that problem or risk arising.

(5) Before confirming an urgent enforcement order, the CAA must—

(a) publish a notice in relation to the proposal to confirm the order,

(b) 10send a copy of the notice to the person to whom the order was given,
and

(c) consider any representations made about the proposal in the period
specified in the notice (and not withdrawn).

(6) The notice under subsection (5) must—

(a) 15state that the CAA proposes to confirm the order,

(b) specify any proposed modifications of the order,

(c) give the CAA’s reasons for confirming the order and for any
modifications, and

(d) specify a reasonable period for making representations.

(7) 20As soon as practicable after confirming an urgent enforcement order, the CAA
must—

(a) publish a notice giving details of the confirmation, including any
modifications of the order, and

(b) send a copy of the notice to the persons listed in subsection (8).

(8) 25Those persons are—

(a) the person to whom the urgent enforcement order was given, and

(b) such bodies representing airport operators or providers of air transport
services as the CAA considers appropriate.

37 Urgent enforcement order: modification and revocation

(1) 30The CAA may—

(a) modify an urgent enforcement order with the agreement of the person
to whom it was given, or

(b) revoke an urgent enforcement order.

(2) Before modifying or revoking the order, the CAA must—

(a) 35publish a notice in relation to the proposed modification or revocation,

(b) send a copy of the notice to the person to whom the order was given,
and

(c) consider any representations made about the proposal in the period
specified in the notice (and not withdrawn).

(3) 40The notice under subsection (2) must—

(a) state that the CAA proposes to modify or revoke the order,

(b) specify the proposed modification (if relevant),

(c) give the CAA’s reasons for the modification or revocation, and

(d) specify a reasonable period for making representations.

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(4) As soon as practicable after modifying or revoking an urgent enforcement
order, the CAA must—

(a) publish a notice giving details of the modification or revocation, and

(b) send a copy of the notice to the persons listed in subsection (5).

(5) 5Those persons are—

(a) the person to whom the urgent enforcement order was given, and

(b) such bodies representing airport operators or providers of air transport
services as the CAA considers appropriate.

(6) Nothing in this section restricts, or applies in relation to the exercise of, the
10CAA’s power under section 36 to modify an urgent enforcement order when
confirming the order.

38 Civil proceedings

(1) A person who is given an enforcement order must comply with it (unless it is
revoked).

(2) 15The obligation to comply with an enforcement order is a duty owed to every
person who may be affected by a contravention of a requirement of the order.

(3) A person who is given an urgent enforcement order must comply with it,
whether or not it has been confirmed (unless it is revoked).

(4) The obligation to comply with an urgent enforcement order that has been
20confirmed is a duty owed to every person who may be affected by a
contravention of a requirement of the order.

(5) Where a duty is owed to a person under subsection (2) or (4), the following are
actionable by the person—

(a) a breach of the duty that causes the person to sustain loss or damage,
25and

(b) an act that—

(i) by inducing a breach of the duty or interfering with its
performance, causes that person to sustain loss or damage, and

(ii) is done entirely or partly for achieving that result.

(6) 30In proceedings brought against a person (“P”) by virtue of subsection (5)(a), it
is a defence for P to show that P took all reasonable steps and exercised all due
diligence to avoid contravening the requirements of the order.

(7) The CAA may enforce the duties under subsections (1) and (3) in—

(a) civil proceedings for an injunction,

(b) 35civil proceedings in Scotland for an interdict or for specific performance
of a statutory duty under section 45 of the Court of Session Act 1988, or

(c) civil proceedings for any other appropriate remedy or relief.

(8) Enforcement of a duty under subsection (1) or (3) by the CAA does not
prejudice any rights that a person may have by virtue of subsection (5).

39 40Penalty for contravention of licence condition

(1) The CAA may impose a penalty on a person if—

(a) it has given the person a contravention notice (and has not withdrawn
it),

Civil Aviation BillPage 27

(b) the representation period has ended,

(c) it has considered any representations made about the matters in the
contravention notice before the end of that period (and not withdrawn),
and

(d) 5it has determined that the person is contravening, or has contravened,
a licence condition specified in the notice in one or more of the ways
specified in the notice.

(2) If the contravention notice specifies more than one contravention, the CAA
may impose a separate penalty under this section for each contravention.

(3) 10If the contravention notice specifies more than one period of contravention, the
CAA may impose a separate penalty under this section for each period.

40 Penalty for contravention of order

The CAA may impose a penalty on a person if it has determined that the
person is contravening, or has contravened, a requirement of—

(a) 15an enforcement order, or

(b) an urgent enforcement order that has been confirmed.

41 Procedure before imposing penalty

(1) Before imposing a penalty on a person under section 39 or 40 the CAA must—

(a) give the person a notice about the proposed penalty,

(b) 20publish the notice as soon as practicable,

(c) send a copy of the notice as soon as practicable to such bodies
representing airport operators or providers of air transport services as
the CAA considers appropriate, and

(d) consider any representations made about the proposed penalty in the
25period specified in the notice (and not withdrawn).

(2) A notice under subsection (1) must—

(a) state that the CAA proposes to impose a penalty,

(b) state the proposed amount of the penalty,

(c) specify the relevant licence condition or requirement, and

(d) 30specify the act or omission that the CAA has determined constitutes a
contravention of the condition or requirement.

(3) In the case of a penalty calculated entirely or partly by reference to a daily
amount (see section 43(2)), a notice under subsection (1) must specify—

(a) the day on which daily amounts would begin to accumulate, and

(b) 35the day on which, or the circumstances in which, they would cease to
accumulate.

(4) The period specified in a notice under subsection (1) for making
representations must be a period of not less than 21 days beginning with the
day on which the notice is given to the person.

(5) 40Before varying the proposed amount of the penalty, the CAA must—

(a) give the person on whom the penalty is to be imposed a notice about
the proposed variation,

(b) publish the notice as soon as practicable,

Civil Aviation BillPage 28

(c) send a copy of the notice as soon as practicable to such bodies
representing airport operators or providers of air transport services as
the CAA considers appropriate, and

(d) consider any representations made about the proposed variation in the
5period specified in the notice (and not withdrawn).

(6) In the case of a penalty calculated entirely or partly by reference to a daily
amount (see section 43(2)), the reference in subsection (5) to varying the
proposed amount of the penalty includes varying—

(a) the day on which daily amounts would begin to accumulate, and

(b) 10the day on which, or circumstances in which, they would cease to
accumulate.

(7) The notice under subsection (5) must—

(a) specify the proposed variation, and

(b) give the CAA’s reasons for the proposed variation.

(8) 15The period specified in the notice under subsection (5) for making
representations must be a period of not less than 21 days beginning with the
day on which the notice is given to the person.

(9) The CAA may withdraw a notice under subsection (1) or (5) at any time by
giving notice to the person on whom it proposed to impose the penalty.

(10) 20As soon as practicable after giving a notice under subsection (9), the CAA
must—

(a) publish the notice, and

(b) send a copy of the notice to such bodies representing airport operators
or providers of air transport services as the CAA considers appropriate.

42 25Procedure after imposing penalty

(1) As soon as practicable after imposing a penalty under section 39 or 40 the CAA
must—

(a) give a notice to the person on whom the penalty is imposed,

(b) publish the notice, and

(c) 30send a copy of the notice to such bodies representing airport operators
or providers of air transport services as the CAA considers appropriate.

(2) The notice must—

(a) state that the CAA has imposed the penalty,

(b) state the amount of the penalty,

(c) 35specify the relevant licence condition or requirement,

(d) specify the act or omission that the CAA has determined constitutes a
contravention of the condition or requirement, and

(e) specify a reasonable period within which the penalty must be paid or
reasonable periods within which different portions of the penalty must
40be paid.

(3) In the case of a penalty calculated entirely or partly by reference to a daily
amount, the notice must specify—

(a) the day on which daily amounts begin to accumulate, and

(b) the day on which, or the circumstances in which, they cease to
45accumulate.

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(4) As soon as practicable after daily amounts cease to accumulate, the CAA
must—

(a) give a notice to the person on whom the penalty was imposed
confirming the day on which they ceased to accumulate,

(b) 5publish the notice, and

(c) send a copy of the notice to such bodies representing airport operators
or providers of air transport services as the CAA considers appropriate.

43 Amount of penalty

(1) The amount of a penalty imposed on a person under section 39 or 40 must be
10such amount as the CAA determines to be—

(a) appropriate, and

(b) proportionate to the contravention for which it is imposed.

(2) The penalty may consist of either or both of the following—

(a) a fixed amount (see section 44);

(b) 15a daily amount (see section 45).

(3) In determining the amount of a penalty, the CAA must have regard, in
particular, to—

(a) any representations made to it in a period specified in a notice
proposing the penalty given under section 41(1) or (5) (and not
20withdrawn),

(b) any steps taken by the person on whom the penalty is to be imposed
towards complying with the licence condition or requirement specified
in the notice under section 41(1), and

(c) any steps taken by that person towards remedying the consequences of
25the contravention of the condition or requirement.

44 Amount of penalty: fixed amount

(1) A penalty imposed on a person (“P”) under section 39 or 40 for a contravention
may not consist of or include a fixed amount exceeding 10% of P’s qualifying
turnover for the qualifying period.

(2) 30P’s qualifying turnover is—

(a) P’s turnover from activities carried on at the airport at which, or in
connection with which, the contravention occurred or is occurring (“the
qualifying airport”), and

(b) the turnover of persons connected to P from such activities.

(3) 35The qualifying period is the last regulatory year ending on or before the day on
which the notice proposing the penalty is given under section 41(1) (“the notice
day”), except in the cases described in subsection (4).

(4) Those cases are—

(a) where P was not the operator of an area at the qualifying airport
40throughout the last regulatory year that ends on or before the notice
day;

(b) where there is no regulatory year or the last regulatory year ended
more than 12 months before the notice day;

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